Approved IAR CE Courses

This two-hour IAR CE course provides investment adviser representatives, supervisors, compliance professionals and investment adviser executives with a comprehensive overview of the SEC’s amendments to Regulation S-P. The course explains the key rule changes, including the requirement to adopt a written incident response program, enhanced customer notification obligations, and expanded oversight of service providers. Participants will gain practical guidance on implementing policies and procedures, updating compliance manuals, and conducting defensible internal reviews aligned with regulatory expectations. Through case studies, the course highlights common deficiencies and how firms can mitigate regulatory and operational risks. The course is designed to equip attendees with actionable steps to strengthen data protection, incident response, and vendor oversight practices within their organizations.

Regulation S-P is the backbone of client data privacy in the investment advisory space. Built on the foundation of the Gramm-Leach-Bliley Act (GLBA), it requires investment advisers to adopt policies and procedures designed to safeguard customer information and to provide transparency about how that information is collected, used, shared, and protected. The regulation isn't just about compliance - it's a reflection of the fiduciary duty advisers owe their clients and their clients' trust.This course outlines the essential elements of Regulation S-P and related privacy expectations, drawing from real-world enforcement actions, SEC guidance, and best practices. It is tailored for new and experienced advisers who want to confidently understand and apply the law to their day-to-day operations.

This course will focus on the regulations that affect investment adviser representatives (IARs).

This quiz includes the following articles: Maximizing Split-Interest Charitable Deductions With New Pooled Income Funds Over CRTs, and Can A Charitable Remainder UniTrust (CRUT) Truly Replace The Benefits Of The 'Stretch' IRA?

This quiz includes the following articles: (1) Equity Compensation Planning as a Niche: Market Opportunities and Differentiated Value and (2) Investing a Roth IRA in Early Stage Growth Companies without Violating Prohibited Transaction Rules

This quiz includes the following articles: Adjusting Monte Carlo Success Thresholds By Tolerance For Spending Volatility, Getting Comfortable Delaying Social Security With Six-Month 'Reversible' Delays, and Analyzing Net Unrealized Appreciation (NUA) Opportunities For Privately Held Company Employee Stock Ownership Plans (ESOPs)

This quiz includes the following articles: This quiz highlights a series of articles surrounding questions and other critical communication skills that advisors will want to consider in order to deepen and enrich client relationships through the financial planning process.

This quiz reviews the following two blog articles: Why High Equity Valuations And Low Bond Yields Won't (Necessarily) Break The 4% Rule and Maximizing The Step-Up In Basis By Gifting Assets Between Spouses.

This quiz covers questions and strategies advisors can employ with clients experiencing crisis. Crisis can include things like losing a spouse or market event, or even just being anxious around an expected financial change.

This course will provide financial advisors with an in-depth review of restricted stock units (RSUs), including their structure, taxation, and strategic planning considerations. Specifically, the course will cover the stages of grant, vesting, and sale; federal and California tax implications; and special circumstances such as mergers, acquisitions, and IPOs. Advisors will learn how to navigate withholding requirements, source tax rules, and double trigger vesting provisions. The presentation will also highlight diversification strategies, cash flow planning, and cross-year tax coordination. In addition, attendees will gain practical skills for using StockOpter to track, model, and manage RSU holdings, helping them better guide clients in optimizing equity compensation outcomes.